Job Details

Legal Staff Paralegal in Beverly Hills, CA

This job is expired...

Company name

Law Offices of Patrick J. Burns, Jr., PC

Organization Type

Law Firm

Job Type

Legal Staff

Practice Area

Corporate - Securities and Capital Markets

Years of Experience

1-2 yrs required

Location

USA Beverly Hills, CA

Date Last Verified

Mar 27,2018

Posted on

Mar 24,2018

18 hits

Profile

Compliance Consultant The candidate will be responsible for On-the-job training. Assist in heavy client contact, legal research and document drafting. Leading RIAs and their representatives through the SEC and/or state registration process. Completing required regulatory annual filings. Creating and/or revising RIA disclosure documents, advisory agreements, and compliance documents. Reviewing marketing materials and/or drafting employment agreements. Formation of legal entities. Should have Bachelor’s Degree. Business Major, Finance Major, Accounting Majors, Marketing Majors a plus, and/or Paralegal Certificate from an ABA Certified program with 1 – 2 years’ experience in the securities industry preferred. Should have knowledge of Series 6, or Series 7, and/or Series 24, Series 66 or Series 65 optional (we can hold securities licenses). Working knowledge of Investment Adviser's Act, 1940 Act (Investment Company Act), other securities regulations and FINRA / SEC Rules preferred. Expertise in the Microsoft Office Suite * Strong attention to detail, responsiveness and ability to take initiative. Ability to prioritize and handle numerous competing demands in a high-volume, fast-paced work environment with frequent urgent deadlines. Ability to work independently or as a team member, and manage projects and time efficiently. Should possess a professional manner and judgment to enable a good working relationship with clients and co-workers. Excellent communication, organizational and interpersonal skills.

Company info

Hiring Coordinator
Law Offices of Patrick J. Burns, Jr., PC
415 North Camden Drive
Suite 223
Beverly Hills, CA 90210